Compliance Associate (Distribution) in London

Job Location: London, England, United Kingdom.

Job Type: Full-time, Permanent.

Where You'll Fit In & What Our Team Goals Are

We are looking for a talented individual to support day‐to‐day activities of the EMEA Distribution Compliance Team for Columbia Threadneedle Investments, part of Ameriprise Financial. In this role, you will support the day‐to‐day activities of the Compliance Advisory Team, specialising in the world of Distribution.

How You'll Spend Your Time

• Advice: Provide regulatory advice and support to the business primarily for matters related to sales, marketing and product development/management compliance. Review client communications and marketing materials for compliance with applicable regulatory requirements and internal compliance policies. Establish and maintain relationships with business partners, fostering a culture of compliance and providing guidance to marketing relating to applicable rules. Continuously assess compliance risks and communicate risks and suggestions to leaders. Assist in developing, maintaining, and revising policies and procedures within the compliance framework.
• Regulatory Analysis: Stay up-to-date on regulatory developments and industry changes in the UK and wider Europe. Work collaboratively with multiple business partners to understand our asset management products and business strategy. Prepare and issue regulatory analysis, drawing out issues and developments affecting Columbia Threadneedle Investments.
• Training: Contribute to the development, improvement, maintenance, and implementation of business unit procedures and employee training materials.
• Projects: Attend meetings and hold ad‐hoc discussions with Distribution and Marketing to understand new initiatives, offer compliance guidance, and assess potential impact on communications and marketing materials. Work on special business or GCO projects, and perform other duties as assigned.
• Management Reporting: Provide input into Compliance MI and reporting to Committees and governing bodies. Collate and produce Compliance reporting for supported areas.

Qualifications

• Proven experience in a similar role within a Compliance function.
• Understanding of asset managers and asset management products.
• Excellent knowledge of MS Excel, PowerPoint, Word; experience with Seismic and/or SharePoint preferred.
• Ability to work effectively on multiple projects under tight deadlines and managing multiple stakeholders simultaneously.
• Process driven and operationally focused.
• Demonstrable organisational skills and strong team working and interpersonal skills.

About Columbia Threadneedle Investments:

Working at Columbia Threadneedle Investments you'll find growth and career opportunities across all of our businesses. We're intentionally built to help you succeed. Our reach is expansive with a global team of 2,500 people working together. Our expertise is diverse with more than 650 investment professionals sharing global perspectives across all major asset classes and markets. Our clients have access to a broad array of investment strategies, and we have the capability to create bespoke solutions matched to clients' specific requirements.

Columbia Threadneedle is a people business and we recognise that our success is due to our talented people, who bring diversity of thought, complementary skills and capabilities. We are committed to providing an inclusive workplace that supports the diversity of our employees and reflects our broader communities and client-base.

We appreciate that work‐life balance is an important factor for many when considering their next move so please discuss any flexible working requirements directly with your recruiter.